Gregory P. Shockro
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Gregory Patrick Shockro was a registered financial professional .
Gregory is a previously registered financial professional and started their career in finance in 2005. Gregory had worked at 10 firms and has passed the Series 63, Series 66, SIE, Series 6TO, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 23, 2022 - October 27, 2022
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
June 23, 2014 - April 7, 2015
MORGAN STANLEY
May 23, 2014 - April 7, 2015
MORGAN STANLEY
May 19, 2010 - November 10, 2011
WELLS FARGO CLEARING SERVICES, LLC
May 18, 2010 - November 10, 2011
WELLS FARGO CLEARING SERVICES, LLC
October 14, 2009 - May 12, 2010
INDEPENDENT FINANCIAL GROUP, LLC
October 13, 2009 - May 12, 2010
INDEPENDENT FINANCIAL GROUP, LLC
September 23, 2009 - January 19, 2010
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
July 16, 2009 - September 24, 2009
RAYMOND JAMES FINANCIAL SERVICES, INC.
March 10, 2009 - May 5, 2009
TRANSAMERICA INVESTMENT MANAGEMENT, LLC
April 17, 2008 - May 5, 2009
TRANSAMERICA CAPITAL, LLC
August 12, 2006 - April 17, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 31, 2005 - June 27, 2006
GLOBAL ATLANTIC DISTRIBUTORS, LLC
Primary Firm SEC Registration
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
CRD#: 2881 / SEC#: 801-8095, 8-14088
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 6TO
Date: 4/29/2022
Investment Company Products/Variable Contracts Representative ExaminationCurrent Firm
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
CRD#: 2881 / SEC#: 801-8095, 8-14088
Contact information
SEC notice filing (50 States and Territories)
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE NORTHWESTERN MUTUAL LIFE INSURANCE COMPANY | SOLE MEMBER | |
| ALBERS, BRETT BERNARD | TREASURER / FINANCIAL AND OPERATIONS PRINCIPAL | 6669890 |
| DOLL, QUENTIN MICHAEL | VICE PRESIDENT - RISK PRODUCTS | 6776231 |
| EULL, BRADLEY LEAHY | SECRETARY | 2969269 |
| KALINOWSKI, DAWN MARIE | VICE PRESIDENT - CHIEF OPERATIONS OFFICER | 2770565 |
| LUND, NICOLE ELLEN | VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | 4646907 |
| SCHULTZ, DEBORAH ALLISON | VICE PRESIDENT AND CHIEF RISK OFFICER | 7440134 |
| TOMCZAK, BONNIE LYNN | VICE PRESIDENT - WEALTH | 2966038 |
| VALTERS, LAILA M | PRESIDENT AND CEO | 3010005 |
Disclosures
| Regulatory Event | 10 |
| Arbitration | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
